REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) - GLENCORE INTL PLC
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http://pdf.reuters.com/htmlnews/8knews.asp?i=43059c3bf0e37541&u=urn:newsml:reuters.com:20130405:nBw055258a http://www.businesswire.com/news/home/20130405005258/en LONDON--(Business Wire)-- FORM 8.5 (EPT/NON-RI) PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS (OR WHERE RI STATUS IS NOT APPLICABLE) Rule 8.5 of the Takeover Code (the "Code") 1. KEY INFORMATION (a) Name of exempt principal trader: BARCLAYS CAPITAL SECURITIES LTD (b) Name of offeror/offeree in relation to whose relevant securities this form relates: GLENCORE INTL PLC Use a separate form for each offeror/offeree (c) Name of the party to the offer with which exempt principal trader is connected: Advisor to Offeree (d) Date position held/dealing undertaken: 4 April 2013 (e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer? YES: XSTRATA PLC 2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER (a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any) Class of relevant security: ORD Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or controlled: 4,165,332 0.06% 44,371,838 0.63% (2) Derivatives (other than options): 39,739,260 0.56% 2,196,485 0.03% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 43,904,592 0.62% 46,568,323 0.66% Class of relevant security: Convertible Bond XS0475310396 Interests Short Positions Number (%) Number (%) (1) Relevant securities owned and/or controlled: 3,300,000 0.15% 0 0.00% (2) Derivatives (other than options): 0 0.00% 0 0.00% (3) Options and agreements to purchase/sell: 0 0.00% 0 0.00% (4) TOTAL: 3,300,000 0.15% 0 0.00% All interests and all short positions should be disclosed. Details of any open derivative or option positions, or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions). (b) Rights to subscribe for new securities (including directors` and other executive options) Class of relevant security in relation to which subscription right exists: Details, including nature of the rights concerned and relevant percentages: If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security. 3. DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER (a) Purchases and sales Class of relevant Purchase/sale Number of Price per unit security securities ORD Purchase 8,624 3.5131 GBP ORD Purchase 11,148 3.4974 GBP ORD Purchase 11,372 3.5054 GBP ORD Purchase 15,763 3.5042 GBP ORD Purchase 16,578 3.5100 GBP ORD Purchase 17,768 3.4966 GBP ORD Purchase 69,815 3.5013 GBP ORD Purchase 77,991 3.5002 GBP ORD Purchase 82,261 3.5070 GBP ORD Purchase 94,686 3.5029 GBP ORD Purchase 118,667 3.4971 GBP ORD Purchase 120,712 3.5055 GBP ORD Purchase 127,210 3.5017 GBP ORD Purchase 269,721 3.5010 GBP ORD Purchase 865,198 3.5027 GBP ORD Sale 100 3.5085 GBP ORD Sale 565 3.5119 GBP ORD Sale 841 3.4870 GBP ORD Sale 1,821 3.5108 GBP ORD Sale 3,915 3.4566 GBP ORD Sale 6,024 3.5082 GBP ORD Sale 8,176 3.4923 GBP ORD Sale 9,000 3.5000 GBP ORD Sale 13,101 3.5028 GBP ORD Sale 16,019 3.5078 GBP ORD Sale 22,181 3.5017 GBP ORD Sale 35,778 3.5030 GBP ORD Sale 45,302 3.5042 GBP ORD Sale 51,204 3.5038 GBP ORD Sale 63,756 3.5013 GBP ORD Sale 84,624 3.5049 GBP ORD Sale 135,545 3.4906 GBP ORD Sale 154,255 3.5044 GBP ORD Sale 239,386 3.5064 GBP ORD Sale 380,981 3.5034 GBP ORD (traded as ADR) Purchase 1,200 10.5100 USD ORD (traded as ADR) Sale 1,200 10.5100 USD (b) Derivatives transactions (other than options) Class of Product Nature of dealing Number of Price per relevant description reference unit security securities ORD CFD Long 13,325 3.5030 GBP ORD SWAP Long 23,888 3.5036 GBP ORD SWAP Long 32,241 3.5033 GBP ORD SWAP Long 73,385 3.5032 GBP ORD SWAP Long 482,950 3.4995 GBP ORD CFD Short 17,444 3.4986 GBP ORD SWAP Short 22,400 3.5048 GBP ORD SWAP Short 22,808 3.4953 GBP ORD SWAP Short 48,360 3.4998 GBP ORD CFD Short 69,815 3.5013 GBP ORD CFD Short 95,465 3.5017 GBP ORD CFD Short 534,435 3.5077 GBP ORD CFD Short 565,770 3.4999 GBP (c) Options transactions in respect of existing securities (i) Writing, selling, purchasing or varying Class of relevant security Product description e.g. call option Writing, purchasing, selling, varying etc. Number of securities to which option relates Exercise price per unit Type Expiry date Option money paid/ received per unit e.g. American, European etc. (ii) Exercising Class of relevant security Product description Number of securities Exercise price per unit e.g. call option (d) Other dealings (including subscribing for new securities) Class of relevant security Nature of dealing Details Price per unit (if applicable) e.g. subscription, conversion The currency of all prices and other monetary amounts should be stated. Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in. 4. OTHER INFORMATION (a) Indemnity and other dealing arrangements Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the exempt principal trader making the disclosure and any party to the offer or any person acting in concert with a party to the offer: If there are no such agreements, arrangements or understandings, state "none" NONE (b) Agreements, arrangements or understandings relating to options or derivatives Details of any agreement, arrangement or understanding, formal or informal, between the exempt principal trader making the disclosure and any other person relating to: (i) the voting rights of any relevant securities under any option; or (ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced: If there are no such agreements, arrangements or understandings, state "none" NONE (c) Attachments Is a Supplemental Form 8 (Open Positions) attached? NO Date of disclosure: 5 April 2013 Contact name: Geoff Smith Telephone number: 020 3555 4632 Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at firstname.lastname@example.org. The Panel`s Market Surveillance Unit is available for consultation in relation to the Code`s dealing disclosure requirements on +44 (0)20 7638 0129. The Code can be viewed on the Panel`s website at www.thetakeoverpanel.org.uk. BARCLAYS PLC Copyright Business Wire 2013
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